Capital Financial Unsuitable Investment Lawyer - Page 2 of 12

113 search results found for “Capital Financial Unsuitable Investment Lawyer”

Feb 4, 2021

Fort Worth, Texas Securities Attorney For Private Placement Investment Dispute

Did Jackie Smalls Cause You Investment Losses? Jackie Smalls, a former broker employed by Fort Worth, Texas-based First Command Financial Planning, Inc., submitted a Letter of Acceptance, Waiver and Consent in which he agreed to, without admitting or denying, the described sanctions and the entry of the Financial Industry Regulatory Authority’s (FINRA) findings that he caused a customer to invest funds in a privately held company without his firm’s prior knowledge and approval to participate in the private securities transaction. FINRA’s findings stated that Mr. Smalls introduced a customer to EGU, the start-up manufacturing company, and recommended that the customer invest $25,000 in the company, which was outside the scope of Mr. Smalls’ association with his firm. Mr. Smalls informed the customer that he invested $50,000 and other investors had invested funds in the company expecting to receive a percentage of the company’s profits because the company would receive government contracts and become successful. FINRA’s findings also stated that Mr. Smalls helped the customer to obtain a loan from a third-party bank in order to invest in the company. Mr. Smalls of Lexington, South Carolina was fined $5,000 and suspended from associating with any FINRA member in any capacity for two months. Do You Need an Attorney for a Private Placement Dispute? Texas has thousands of stock brokerage firms and investment advisory offices. With so many stock brokerage firms and investment advisory offices, comes the potential for their stockbrokers, financial advisors, and other representatives to misrepresent and mislead investors about investing in Private Placements of securities issued by small undercapitalized start-ups, their own companies and other dubious companies and engage in all kinds of stockbroker misconduct which violates Federal and Texas securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures. Experienced Securities Lawyers for Investors with Private Placement Investment Claims in FINRA Arbitrations Throughout Texas and Nationwide. Are you a Texas investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Texas stockbroker or investment advisor misrepresent or mislead you about an investment in a Private Placement or make an unsuitable recommendation that you invest in a Private Placement like GPB Capital Holdings or EquiAlt or otherwise mismanage your investment account? If so, you will need to hire an experienced, highly rated and nationally recognized FINRA securities arbitration law attorney who understands these highly complex and risky Private Placement investments. You need an experienced lawyer knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration cases and other complex legal issues. By hiring a top rated and highly successful attorney like Robert Wayne Pearce with over 40 years of experience practicing securities law on both sides of the table in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and is one of the best attorneys to recover your investment losses in Private Placements and all types of stockbroker misconduct in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors in all kinds of Private Placement of securities in FINRA arbitration and mediation proceedings. We handle a wide range of practice areas such asfraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations of Private Placements. Attorney Pearce and his staff represent investors throughout Texas, and across the United States on a CONTINGENCY FEE basis, which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award. Se habla español Free Initial Consultation With An Experienced Private Placement Investment Attorney Serving Texas Residents In FINRA Arbitration Proceedings The Law Offices of Robert Wayne Pearce, P.A. are highly experienced attorneys who successfully handle Private Placement cases and other securities law matters and investment disputes in FINRA arbitration proceedings, and who work tirelessly to secure the best possible result for you and your case. For dedicated representation by a lawyer with over 40 years of experience and success in Private Placements and all kinds of securities law and investment disputes serving Texas citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Jan 29, 2021

Gurabo, Puerto Rico Attorney Who Sues Stockbrokers Who Made Unsuitable Investment Recommendations

Did John Amador Blakezuniga Cause You Investment Losses? John Amador Blakezuniga, a former registered representative with Vanguard Capital, submitted a Letter of Acceptance, Waiver, and Consent (AWC), in which he agreed to, without admitting or denying, the Financial Industry Regulatory Authority’s (FINRA) findings that he made unsuitable ETF recommendations in 85 of his customers’ accounts. FINRA alleged that John Amador Blakezuniga, of Gurabo, Puerto Rico (a/k/a John Anthony Blake and John A Zuniga) recommended approximately 1,280 transactions in inverse and inverse-leveraged ETFs. According to FINRA, Mr. Blakezuniga recommended that the non-traditional ETFs be held in his customers’ accounts for periods ranging from 30 days to several years, despite the warning in the prospectuses that “investment results for a single day only, not for longer periods.” The ETFs allegedly recommended by Blakezuniga were intended as short-term trading vehicles and not meant to be long-term investments. As a result, John Amador Blakezuniga was assessed a deferred fine of $25,000 and suspended from association with any FINRA member for 22 months. Do You an Attorney for an Unsuitable Investment Recommendation? Puerto Rico has scores of stock brokerage firms and investment advisory offices. With so many stock brokerage firms and investment advisory offices, comes the potential for their stockbrokers, financial advisors, and other representatives to recommend unsuitable securities investments in light of the customers stated investment objectives, risk tolerance, financial condition, time horizon and other important factors and to engage in many other kinds of stockbroker fraud and stockbroker misconduct which violates Federal and Puerto Rico securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures. Experienced Unsuitable Investment Lawyers Who Handle FINRA Arbitrations Throughout Puerto Rico and Nationwide. Are you a Puerto Rico investor who has suffered significant losses in your stock brokerage and investment accounts? Did they recommend unsuitable securities transactions or strategies? Broker-Dealer attorneys always argue to the arbitration panel the securities transactions (buy, sell or hold) and/or strategies to engage in short selling, trade on margin, use securities based lending and complex option or futures trading strategies were suitable for the customer. They routinely misrepresent the customers’ investment objectives, risk tolerance and financial condition on account documents. Suitability claims can be based upon the stockbroker or investment advisor’s fiduciary duty, duty to use reasonable care, or FINRA Rule 2111. If you believe that your stockbroker or investment advisor made unsuitable recommendations, you need a skilled securities arbitration attorney who knows all the investments, investment strategies and stockbroker tricks of the trade. More importantly, you will need the representation of an experienced, top rated and nationally recognized FINRA arbitration attorney — a lawyer who knows FINRA rules and procedures and how to handle these FINRA arbitration cases and other complex legal issues. By hiring a top rated securities attorney like Robert Wayne Pearce with over 40 years of experience on both sides of the table in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and is one of the best securities attorneys to recover your investment losses for unsuitable recommendations and all types of stockbroker fraud and stockbroker misconduct in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors with securities breach of fiduciary duty claims and many other kinds of securities law and investment disputes in FINRA arbitration and mediation proceedings. We handle a wide range of practice areas besides breach of fiduciary duty, such as claims involving securities misrepresentation and stockbroker fraud, negligence, failure to supervise, and unsuitable recommendations by stockbrokers and investment advisors. Attorney Pearce and his staff represent investors throughout Puerto Rico, and across the United States on a CONTINGENCY FEE basis, which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award. Se habla español Free Initial Consultation With An Experienced Attorney Serving Puerto Rico Residents in FINRA Arbitrations Involving Unsuitable Investment Claims The Law Offices of Robert Wayne Pearce, P.A. are highly experienced lawyers who successfully handle unsuitable investment claims and other investment disputes in FINRA arbitration proceedings, and who work tirelessly to secure the best possible result for you and your case. For dedicated representation by an attorney with over 40 years of experience and success in all kinds of securities law and investment disputes in FINRA arbitrations serving Puerto Rico citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Jan 29, 2021

Fairfax Station, Virginia Securities Arbitration Attorney Who Sues Stockbrokers For Selling Away (Selling Unauthorized Investments)

Did Frank Dietrich Cause You Investment Losses? Frank Roland Dietrich of Fairfax Station, Virginia submitted a Letter of Acceptance, Waiver and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he was barred for allegedly participating in private securities transactions in violation of NASD Rule 3040 and FINRA Rules 3280 and 2010. Frank Roland Dietrich was registered with Quest Capital Securities as a General Securities Representative when, according to FINRA’s findings, he engaged in private securities transactions totaling over $10.8 million without written notice to or approval from his firm. The findings also stated Mr. Dietrich solicited investors to purchase promissory notes in connection with the Woodbridge Group of Companies LLC (“Woodbridge”), a purported real estate investment fund, which later filed a Voluntary Chapter 11 Bankruptcy petition. FINRA’s investigators found that he sold $10,831,645 in the funds’ notes to 58 investors, 30 of whom were customers of Quest Capital and earned $260,864 in commissions relating to the transactions. Without admitting or denying FINRA’s allegations, Frank Roland Dietrich agreed to the sanctions and was prohibited from association with any FINRA member in all capacities. Do You Need an Attorney for an Unauthorized Investment? Virginia has hundreds of stock brokerage firms and investment advisory offices. With so many stock brokerage firms and investment advisor offices, comes the potential for their stockbrokers, financial advisors, and other representatives to recommend investments that were never reviewed nor authorized by their employers and engage in many other types of misconduct which violates Federal and Virginia securities laws, Financial Industry Regulatory Authority (FINRA) rules as well as stock brokerage firms policies and procedures. Experienced Securities Lawyers Who Represent Investors Sold Unauthorized Investments (Selling Away) In FINRA Arbitrations Throughout Virginia and Nationwide. Did your Virginia stockbroker or investment advisor recommend an investment that turned out to be an investment never reviewed or approved by their stockbrokerage firm employer. The stockbrokers who stoop to that level are usually insolvent or uncollectible. And so, the investor’s only recourse is against the brokerage firm employer. But stockbrokerage firms always claim ignorance of the stockbroker’s activities and deny liability for the sale of unauthorized investments which they call Selling Away as if that was an absolute defense. Not so! You will definitely need an experienced attorney who knows the securities laws and how to hold the stockbrokerage firm responsible for their employees Selling Away under legal principles of actual authority, apparent authority, estoppel and failure to supervise. If your attorney knows where to look he/she can often find Red Flags of the alleged unauthorized sales that the firm did not look for, missed or saw and just ignored. You also need a lawyer knowledgeable of FINRA rules and procedures to handle these FINRA arbitration Selling Away cases involving complex legal issues. By hiring a top rated attorney like Robert Wayne Pearce with over 40 years of experience practicing securities law on both sides of the table in FINRA arbitration proceedings, you will clearly see that Attorney Pearce aggressively represents investors and is one of the best attorneys to help you recover your unauthorized investment losses from stockbrokers, investment advisors and their employers in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors in not just Selling Away cases but all kinds of securities law and investment disputes in FINRA arbitration and mediation proceedings. We handle a wide range of practice areassuch asstockbrokerfraud and securities misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations. Attorney Pearce and his staff represent investors throughout Virginia, and across the United States on a CONTINGENCY FEE basis which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award. Se habla español Free Initial Consultation With An Experienced Selling Away Attorney Representing Virginia Residents in FINRA Arbitrations The Law Offices of Robert Wayne Pearce, P.A. are highly experienced attorneys who successfully handle Selling Away and other securities investment cases in FINRA arbitration proceedings, and who work tirelessly to secure the best possible result for you and your case. For dedicated representation by a lawyer with over 40 years of experience and success in all kinds of securities law and investment disputes in FINRA arbitrations serving Virginia citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Jan 27, 2021

Melville, New York Securities Attorney For Private Placement Investment Dispute

Did Brookville Capital And Anthony Lodati Cause You Investment Losses? Melville, New York-based Brookville Capital Partners LLC (Brookville Capital) and the firm’s president, Anthony F. Lodati, were named in a Financial Industry Regulatory Authority (FINRA) complaint claiming that the firm and Mr. Lodati defrauded investors pertaining to a private placement offering. According to FINRA’s complaint, Brookville Capital and Mr. Lodati solicited customers to invest in a private placement offering that did not disclose material facts about an individual involved in the offering. Anthony Lodati allegedly discovered that the individual, who had effected transactions on behalf of the private placement, was fined by the Securities and Exchange Commission (SEC) for securities fraud and was convicted of a felony by the state of Florida. FINRA found that Mr. Lodati failed to inform any of the potential investors of the individual’s involvement. In addition, the private placement memorandum (PPM) allegedly made no mention of the individual or of his regulatory or criminal background. FINRA alleged that Brookville Capital failed to conduct proper due diligence regarding the private placement offering, alleging that the firm and Mr. Lodati “lacked a reasonable basis to believe that the recommendation of the private placement could be suitable for any customer.” Do You Need A Securities Attorney For Private Placement Investment Dispute? New York has thousands of stock brokerage firms and investment advisory offices. With so many stock brokerage firms and investment advisory offices, comes the potential for their stockbrokers, financial advisors, and other representatives to misrepresent and mislead investors about investing in Private Placements of securities issued by small undercapitalized start-ups, their own companies and other dubious companies and engage in all kinds of stockbroker misconduct which violates Federal and New York securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures. Experienced Securities Lawyers for Investors with Private Placement Investment Claims in FINRA Arbitrations Throughout New York and Nationwide. Are you a New York investor who has suffered significant losses in your stock brokerage and investment accounts? Did your New York stockbroker or investment advisor misrepresent or mislead you about an investment in a Private Placement or make an unsuitable recommendation that you invest in a Private Placement like GPB Capital Holdings or EquiAlt or otherwise mismanage your investment account? If so, you will need to hire an experienced, highly rated and nationally recognized FINRA securities arbitration law attorney who understands these highly complex and risky Private Placement investments. You need an experienced lawyer knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration cases and other complex legal issues. By hiring a top rated and highly successful attorney like Robert Wayne Pearce with over 40 years of experience practicing securities law on both sides of the table in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and is one of the best attorneys to recover your investment losses in Private Placements and all types of stockbroker misconduct in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors in all kinds of Private Placement of securities in FINRA arbitration and mediation proceedings. We handle a wide range of practice areas such as fraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations of Private Placements. Attorney Pearce and his staff represent investors throughout New York, and across the United States on a CONTINGENCY FEE basis, which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award. Se habla español Free Initial Consultation With An Experienced Private Placement Investment Attorney Serving New York Residents In FINRA Arbitration Proceedings The Law Offices of Robert Wayne Pearce, P.A. are highly experienced attorneys who successfully handle Private Placement cases and other securities law matters and investment disputes in FINRA arbitration proceedings, and who work tirelessly to secure the best possible result for you and your case. For dedicated representation by a lawyer with over 40 years of experience and success in Private Placements and all kinds of securities law and investment disputes serving New York citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Jan 22, 2021

Westfield, New Jersey Securities Attorney For Private Placement Investment Dispute

Did Merrion Securities Cause You Investment Losses? Merrion Securities, LLC of Westfield, New Jersey submitted a Letter of Acceptance, Waiver and Consent (AWC) to FINRA for allegedly failing to properly establish an escrow account for investor funds. Between 2009 and 2010, Merrion Securities was the private placement agent for a contingent private placement offering of securities in Vir2us, Inc. The memorandum for the private offering stated that the offering needed to raise a minimum of $2 million and until that $2 million was met, investors funds would be held in an escrow account. However, FINRA found that instead of putting investors funds in an escrow account, Merrion Securities deposited investor funds into Vir2us’ bank account and then later into an attorney trust account that wasn’t under Merrion’s control. FINRA alleged that for failing to properly deposit investor funds, Merrion violated Section 15(c)(2) of the Securities and Exchange Act of 1934, Rule 15c2-4, and FINRA Rule 2010. Additionally, FINRA found that Merrion altered the contingency of the private offering when the minimum $2 million investment was not met. FINRA alleged that Merrion lowered and thereby altered the contingency minimum investment total to $1 million. When the terms of the contingency were altered, Merrion was required to terminate the offering and return investor’s funds. FINRA found that Merrion failed to terminate the private offering and willfully violated Section 10(b) of the Securities Exchange Act of 1934, SEC Rule 10b-9 and FINRA Rule 2010. For the alleged violations, Merrion Securities was censured and fined $15,000. Do You Need A Securities Attorney For Private Placement Investment Dispute? New Jersey has hundreds of stock brokerage firms and investment advisory offices. With so many stock brokerage firms and investment advisory offices, comes the potential for their stockbrokers, financial advisors, and other representatives to misrepresent and mislead investors about investing in Private Placements of securities issued by small undercapitalized start-ups, their own companies and other dubious companies and engage in all kinds of stockbroker misconduct which violates Federal and New Jersey securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures. Experienced Securities Lawyers for Investors with Private Placement Investment Claims in FINRA Arbitrations Throughout New Jersey and Nationwide. Are you a New Jersey investor who has suffered significant losses in your stock brokerage and investment accounts? Did your New Jersey stockbroker or investment advisor misrepresent or mislead you about an investment in a Private Placement or make an unsuitable recommendation that you invest in a Private Placement like GPB Capital Holdings or EquiAlt or otherwise mismanage your investment account? If so, you will need to hire an experienced, highly rated and nationally recognized FINRA securities arbitration law attorney who understands these highly complex and risky Private Placement investments. You need an experienced lawyer knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration cases and other complex legal issues. By hiring a top rated and highly successful attorney like Robert Wayne Pearce with over 40 years of experience practicing securities law on both sides of the table in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and is one of the best attorneys to recover your investment losses in Private Placements and all types of stockbroker misconduct in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors in all kinds of Private Placement of securities in FINRA arbitration and mediation proceedings. We handle a wide range of practice areas such as fraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations of Private Placements. Attorney Pearce and his staff represent investors throughout New Jersey, and across the United States on a CONTINGENCY FEE basis, which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award. Se habla español Free Initial Consultation With An Experienced Private Placement Investment Attorney Serving New Jersey Residents In FINRA Arbitration Proceedings The Law Offices of Robert Wayne Pearce, P.A. are highly experienced attorneys who successfully handle Private Placement cases and other securities law matters and investment disputes in FINRA arbitration proceedings, and who work tirelessly to secure the best possible result for you and your case. For dedicated representation by a lawyer with over 40 years of experience and success in Private Placements and all kinds of securities law and investment disputes serving New Jersey citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Jan 18, 2021

Kansas City, Missouri Securities Attorney For Private Placement Investment Dispute

Did Sunset Financial Services Cause You Investment Losses? Kansas City, Missouri-based Sunset Financial Services, Inc. submitted a Letter of Acceptance, Waiver, and Consent (AWC) in which the firm agreed to, without admitting or denying, the described penalties and the entry of the Financial Industry Regulatory Authority’s (FINRA) findings that it sold private placements as an unaffiliated broker-dealer without performing adequate due diligence. According to FINRA, a third-party diligence report on one private placement alerted the firm of an increased default rate for the loan portfolio, but the firm failed to sufficiently follow up on this red flag and did not re-evaluate the appropriateness of retaining the fund in its approved private placement fund. FINRA’s findings stated that the firm failed to follow up on another red flag when the fund suspended fund redemptions and stopped accepting new investors due to financial difficulties. The firm received approximately $1,140,000 from the sale of the fund. Additionally, FINRA found that the firm lacked a supervisory system reasonably designed to monitor its due diligence on approved private placements. FINRA found that the firm delegated almost all responsibilities relating to private placements to its vice president but had no procedures in place to follow up on whether he was properly performing his responsibilities. Further, the system of supervising suitability was deficient because the vice president simultaneously recommended private placements to customers through his discussions with registered representatives, while reviewing the suitability of these recommendations. According to FINRA, the firm did not create sales materials for any private placements but relied on its registered representatives to submit sponsor-created sales materials to the firm’s compliance department for prior review. Consequently, the firm was censured, fined $200,000, and ordered to disgorge ill-gotten gains of gross dealer concessions and due diligence fees in the amount of $84,253.03 plus interest as partial restitution to customers. Do You Need A Missouri Securities Attorney For Private Placement Investment Dispute? Missouri has thousands of stock brokerage firms and investment advisory offices. With so many stock brokerage firms and investment advisory offices, comes the potential for their stockbrokers, financial advisors, and other representatives to misrepresent and mislead investors about investing in Private Placements of securities issued by small undercapitalized start-ups, their own companies and other dubious companies and engage in all kinds of stockbroker misconduct which violates Federal and Missouri securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures. Experienced Securities Lawyers for Investors with Private Placement Investment Claims in FINRA Arbitrations Throughout Missouri and Nationwide. Are you a Missouri investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Missouri stockbroker or investment advisor misrepresent or mislead you about an investment in a Private Placement or make an unsuitable recommendation that you invest in a Private Placement like GPB Capital Holdings or EquiAlt or otherwise mismanage your investment account? If so, you will need to hire an experienced, highly rated and nationally recognized FINRA securities arbitration law attorney who understands these highly complex and risky Private Placement investments. You need an experienced lawyer knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration cases and other complex legal issues. By hiring a top rated and highly successful attorney like Robert Wayne Pearce with over 40 years of experience practicing securities law on both sides of the table in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and is one of the best attorneys to recover your investment losses in Private Placements and all types of stockbroker misconduct in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors in all kinds of Private Placement of securities in FINRA arbitration and mediation proceedings. We handle a wide range of practice areas such as fraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations of Private Placements. Attorney Pearce and his staff represent investors throughout Missouri, and across the United States on a CONTINGENCY FEE basis, which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award. Se habla español Free Initial Consultation With An Experienced Private Placement Investment Attorney Serving Missouri Residents In FINRA Arbitration Proceedings The Law Offices of Robert Wayne Pearce, P.A. are highly experienced attorneys who successfully handle Private Placement cases and other securities law matters and investment disputes in FINRA arbitration proceedings, and who work tirelessly to secure the best possible result for you and your case. For dedicated representation by a lawyer with over 40 years of experience and success in Private Placements and all kinds of securities law and investment disputes serving Missouri citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Jan 5, 2021

Carlsbad, California Securities Arbitration Lawyers Who Handle Ponzi Scheme Cases

Did Sunil Sharma Cause You Investment Losses? Former Carlsbad, California broker Sunil Sharma plead guilty to wire fraud charges in Federal court. According to the U.S. Attorney Office (USAO), Mr. Sharma admitted that he stole $6 million from investors by misrepresenting that he was making conservative investments when he actually was pursuing a risky day trading strategy. Mr. Sharma allegedly organized a massive Ponzi scheme in which he used money from new investors to pay an earlier investor’s returns. Ponzi schemes invariably fall apart when markets deteriorate or when the schemer is unable to raise more cash. Mr. Sharma admitted to diverting approximately $2.5 million of investors’ funds for his own personal benefit, including a down payment on a house, a cruise, and leasing expensive cars. The former Merrill Lynch and Raymond James broker, Sunil Sharma, faced 20 years in prison and possible fines and restitution. Do You Need A California Securities Arbitration Lawyers Who Handle Ponzi Scheme Cases? California has thousands of stock brokerage firms and investment advisory offices. With so many stock brokerage firms and investment advisory offices, comes the potential for their stockbrokers, financial advisors, and other representatives to recommend investments in Ponzi Schemes and engage in all sorts of misconduct which violates Federal and [State] securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures. Experienced Securities Attorneys Who Represent Investors Caught In Ponzi Schemes In FINRA Arbitrations Throughout California and Nationwide. Did your California stockbroker or investment advisor recommend an investment that turned out to be an investment in a Ponzi Scheme like the ones allegedly run by GPB Capital Holdings or EquiAlt? Generally, these investments are not vetted by your stockbrokers or investment advisor’s employer. The brokerage firms always deny liability for these unauthorized investments. And so, you definitely need an experienced attorney knowledgeable of FINRA rules and procedures to handle these FINRA arbitration cases involving Ponzi Scheme investments and other complex legal issues. By hiring a top rated securities arbitration lawyer like Robert Wayne Pearce with over 40 years of experience practicing securities law on both sides of the table in FINRA arbitration proceedings, you will clearly see that Attorney Pearce aggressively represents investors and is one of the best lawyers to help you recover your Ponzi Scheme investment losses from stockbrokers, investment advisors and their employers in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors not only in Ponzi Scheme cases but all kinds of securities law and investment disputes in FINRA arbitration and mediation proceedings. We handle a wide range of practice areas such as fraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations. Attorney Pearce and his staff represent investors throughout California, and across the United States on a CONTINGENCY FEE basis, which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award. Se habla español Free Initial Consultation With An Experienced Ponzi Scheme Lawyer Representing California Residents in FINRA Arbitrations The Law Offices of Robert Wayne Pearce, P.A. are highly experienced lawyers who successfully handle Ponzi Scheme and other securities investment cases in FINRA arbitration proceedings, and who work tirelessly to secure the best possible result for you and your case. For dedicated representation by an attorney with over 40 years of experience and success in all kinds of securities law and investment disputes in FINRA arbitrations serving California citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Jan 4, 2021

Glendale, California Securities Attorney For Private Placement Investment Dispute

Did Robert Tweed Cause You Investment Losses? Robert Russel Tweed of Glendale, California appealed an Office of Hearing Officers (OHO) decision to the National Adjudicatory Council (NAC) in which he was fined $50,000 and prohibited from association with any FINRA member in all capacities for allegedly violating FINRA Rule 2010 and Sections 17(a)(2) and (3) of the Securities Act of 1933. The sanctions are not yet effective, pending review of the OHO decision by the NAC. Robert Tweed owned and controlled an investment advisory firm called Tweed Financial Services, Inc. that served as the general partner of Athenian Fund LP (Athenian), the hedge fund also owned and controlled by Mr. Tweed. FINRA’s findings stated that between November 2009 and March 2010, through a false and misleading private placement memorandum (PPM), Mr. Tweed obtained $1.6 million from 23 retail customers. The OHO found that Mr. Tweed used the PPM to offer and sell interests in Athenian. Mr. Tweed allegedly did not disclose that he incurred losses by using the fund’s money in investments instead of a fund that would use a quantitative stock trading algorithm. FINRA’s OHO also found that Mr. Tweed failed to disclose that he replaced the entity that would trade the hedge fund’s capital with another entity controlled by another person managing the assets, and Mr. Tweed received a share of the fees that lowered the return on investors’ money. Do You Need an Attorney for a Private Placement Investment Dispute? California has thousands of stock brokerage firms and investment advisory offices. With so many stock brokerage firms and investment advisory offices, comes the potential for their stockbrokers, financial advisors, and other representatives to misrepresent and mislead investors about investing in Private Placements of securities issued by small undercapitalized start-ups, their own companies and other dubious companies and engage in all kinds of stockbroker misconduct which violates Federal and California securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures. Experienced Securities Lawyers for Investors with Private Placement Investment Claims in FINRA Arbitrations Throughout California and Nationwide. Are you a California investor who has suffered significant losses in your stock brokerage and investment accounts? Did your California stockbroker or investment advisor misrepresent or mislead you about an investment in a Private Placement or make an unsuitable recommendation that you invest in a Private Placement like GPB Capital Holdings or EquiAlt or otherwise mismanage your investment account? If so, you will need to hire an experienced, highly rated and nationally recognized FINRA securities arbitration law attorney who understands these highly complex and risky Private Placement investments. You need an experienced lawyer knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration cases and other complex legal issues. By hiring a top rated and highly successful attorney like Robert Wayne Pearce with over 40 years of experience practicing securities law on both sides of the table in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and is one of the best attorneys to recover your investment losses in Private Placements and all types of stockbroker misconduct in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors in all kinds of Private Placement of securities in FINRA arbitration and mediation proceedings. We handle a wide range of practice areassuch asfraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations of Private Placements. Attorney Pearce and his staff represent investors throughout California, and across the United States on a CONTINGENCY FEE basis, which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award. Se habla español Free Initial Consultation With An Experienced Private Placement Investment Attorney Serving California Residents In FINRA Arbitration Proceedings The Law Offices of Robert Wayne Pearce, P.A. are highly experienced attorneys who successfully handle Private Placement cases and other securities law matters and investment disputes in FINRA arbitration proceedings, and who work tirelessly to secure the best possible result for you and your case. For dedicated representation by a lawyer with over 40 years of experience and success in Private Placements and all kinds of securities law and investment disputes serving California citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 30, 2020

Westport, Connecticut Securities Attorney For Private Placement Investment Dispute

Did James Eastman Cause You Investment Losses? James Clifford Eastman, a former broker with Westport, Connecticut based Westport Resources Investment Services, Inc. submitted a letter of Acceptance, Waiver, and Consent (AWC) to the Financial Industry National Regulatory Authority (FINRA) for allegedly participating in private securities transactions without giving prior written notice and without receiving the necessary approval from his firm. FINRA found that James Eastman referred three Westport customers to invest in an oil and gas limited partnership offered by Quest Energy Management Group, Inc. (Quest). The offering interest was in the Permian Advanced Oil Recovery Investment Fund 1, LP. Mr. Eastman referred the three Westport customers to Quest, allegedly assisting the customers in obtaining the investment funds from their Westport brokerage accounts in order to effect the transactions. FINRA stated that the customers invested $875,000 in the Permian securities offering. James Eastman was assessed a deferred fine of $20,000 and suspended from association with any FINRA member in any capacity for nine months. Do You Need a Private Placement Investment Attorney? Connecticut has thousands of stock brokerage firms and investment advisory offices. With so many stock brokerage firms and investment advisory offices, comes the potential for their stockbrokers, financial advisors, and other representatives to misrepresent and mislead investors about investing in Private Placements of securities issued by small undercapitalized start-ups, their own companies and other dubious companies and engage in all kinds of stockbroker misconduct which violates Federal and Connecticut securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures. Experienced Securities Lawyers for Investors with Private Placement Investment Claims in FINRA Arbitrations Throughout Connecticut and Nationwide. Are you a Connecticut investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Connecticut stockbroker or investment advisor misrepresent or mislead you about an investment in a Private Placement or make an unsuitable recommendation that you invest in a Private Placement like GPB Capital Holdings or EquiAlt or otherwise mismanage your investment account? If so, you will need to hire an experienced, highly rated and nationally recognized FINRA securities arbitration law attorney who understands these highly complex and risky Private Placement investments. You need an experienced lawyer knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration cases and other complex legal issues. By hiring a top rated and highly successful attorney like Robert Wayne Pearce with over 40 years of experience practicing securities law on both sides of the table in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and is one of the best attorneys to recover your investment losses in Private Placements and all types of stockbroker misconduct in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors in all kinds of Private Placement of securities in FINRA arbitration and mediation proceedings. We handle a wide range of practice areassuch asfraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations of Private Placements. Attorney Pearce and his staff represent investors throughout Connecticut, and across the United States on a CONTINGENCY FEE basis, which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award. Se habla español Free Initial Consultation With An Experienced Private Placement Investment Attorney Serving Connecticut Residents In FINRA Arbitration Proceedings The Law Offices of Robert Wayne Pearce, P.A. are highly experienced attorneys who successfully handle Private Placement cases and other securities law matters and investment disputes in FINRA arbitration proceedings, and who work tirelessly to secure the best possible result for you and your case. For dedicated representation by a lawyer with over 40 years of experience and success in Private Placements and all kinds of securities law and investment disputes serving Connecticut citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

Dec 29, 2020

Colorado Springs, Colorado Securities Attorney For Private Placement Investment Disputes

Mark Gregory Raezer of Colorado Springs, Colorado submitted a Letter of Acceptance, Waiver, and Consent (AWC) to the Financial Industry Regulatory Authority (FINRA) in which he received a fine and suspension for participating in unapproved private transactions in violation of FINRA Rules 3280 and 2010. Mark Gregory Raezer joined Taylor Capital Management as an Investment Company and Variable Contracts Products Representative. FINRA’s findings stated, Mr. Raezer engaged in nine private securities transactions, $911,000 in securities issued by a purported real estate investment Company without notice or authorization from his firm. FINRA also found that Mr. Raezer discussed the investment and helped investors complete applications and subscription paperwork. According to FINRA, Mr. Raezer did not receive direct compensation but benefited indirectly from a profit-sharing arrangement with the leader representative in the retirement planning, life insurance, and tax preparation business. Without admitting or denying FINRA’s allegations, Mark Gregory Raezer was assessed a deferred fine of $15,000 and suspended from association with any FINRA member in all capacities for 10 months. Do You Need a Private Placement Investment Dispute Attorney? Colorado has thousands of stock brokerage firms and investment advisory offices. With so many stock brokerage firms and investment advisory offices, comes the potential for their stockbrokers, financial advisors, and other representatives to misrepresent and mislead investors about investing in Private Placements of securities issued by small undercapitalized start-ups, their own companies and other dubious companies and engage in all kinds of stockbroker misconduct which violates Federal and Colorado securities laws and Financial Industry Regulatory Authority (FINRA) rules and stock brokerage firms policies and procedures. Experienced Securities Lawyers for Investors with Private Placement Investment Claims in FINRA Arbitrations Throughout Colorado and Nationwide. Are you a Colorado investor who has suffered significant losses in your stock brokerage and investment accounts? Did your Colorado stockbroker or investment advisor misrepresent or mislead you about an investment in a Private Placement or make an unsuitable recommendation that you invest in a Private Placement like GPB Capital Holdings or EquiAlt or otherwise mismanage your investment account? If so, you will need to hire an experienced, highly rated and nationally recognized FINRA securities arbitration law attorney who understands these highly complex and risky Private Placement investments. You need an experienced lawyer knows FINRA rules and procedures inside and out and how to handle these FINRA arbitration cases and other complex legal issues. By hiring a top rated and highly successful attorney like Robert Wayne Pearce with over 40 years of experience practicing securities law on both sides of the table in FINRA arbitration proceedings, you will clearly see that Attorney Pearce doesn’t just handle cases—he aggressively represents investors and is one of the best attorneys to recover your investment losses in Private Placements and all types of stockbroker misconduct in FINRA arbitration proceedings! At The Law Offices of Robert Wayne Pearce, P.A., we represent investors in all kinds of Private Placement of securities in FINRA arbitration and mediation proceedings. We handle a wide range of practice areassuch asfraud and misrepresentation, breach of fiduciary duty, failure to supervise, and unsuitable recommendations of Private Placements. Attorney Pearce and his staff represent investors throughout Colorado, and across the United States on a CONTINGENCY FEE basis, which means you pay nothing – NO FEES-NO COSTS – unless we put money in your pocket after receiving a settlement or FINRA arbitration award. Se habla español Free Initial Consultation With An Experienced Private Placement Investment Attorney Serving Colorado Residents In FINRA Arbitration Proceedings The Law Offices of Robert Wayne Pearce, P.A. are highly experienced attorneys who successfully handle Private Placement cases and other securities law matters and investment disputes in FINRA arbitration proceedings, and who work tirelessly to secure the best possible result for you and your case. For dedicated representation by a lawyer with over 40 years of experience and success in Private Placements and all kinds of securities law and investment disputes serving Colorado citizens, contact the firm by phone at 561-338-0037, toll free at 800-732-2889 or via e-mail.

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